This filing was published in the 05/15/2008, issue, Vol. 2008, No. 10, of the Utah State Bulletin.
Human Resource Management, Administration
NOTICE OF PROPOSED RULE
DAR File No.: 31186
Filed: 04/25/2008, 08:31
Received by: NL
Purpose of the rule or reason for the change:
These amendments remove unnecessary definitions and definitions that are no longer in use and add definitions or change terms within existing definitions to improve clarity. Nonsubstantive changes were also made to streamline language, renumber definitions, and correct references.
Summary of the rule or change:
In Subsection R477-1-1(11), adds Agency Human Resource Field Office to distinguish between the Department of Human Resource Management (DHRM) and the agencies it serves on site. In Subsection R477-1-1(31) "Demeaning Behavior" is deleted as the definition is vague and irrelevant. In Subsection R477-1-1(33), department is deleted since the term as defined is no longer used in Title R477. In Subsection R477-1-1(34), "derisive behavior" is deleted as the definition is vague and irrelevant. In new Subsection R477-1-1(39), adds a reference for further clarification. In new Subsection R477-1-1(42), "Employment Eligibility Certification" is changed to "Employment Eligibility Verification" in alignment with the term used in federal law. In Subsections R477-1-1(46) "Equal Employment Opportunity", R477-1-1(48) "Fair Employment Opportunity and Practice", R477-1-1(59) "Hostile Work Environment", and R477-1-1(80) "Performance Evaluation Date" are deleted as these terms are already defined in rule within their relevant context. In the new Subsection R477-1-1(85), "Preemployment Drug Test" and the new Subsection R477-1-1(91), "Random Drug or Alcohol Test" have the term "safety sensitive" replaced with "highly sensitive" to align with the term used in the Utah Code. In new Subsection R477-1-1(93), the term "position" is replaced with the more accurate term "status". In Subsections R477-1-1(107), "Retaliation", R477-1-1(108) "Return from LWOP", R477-1-1(109) "Return to Duty Drug or Alcohol Test", R477-1-1(110) "Ridiculing Behavior", R477-1-1(111) "RIF'd Individual", R477-1-1(112) "Safety Sensitive Position", R477-1-1(118) "Temporary Transitional Assignment", and R477-1-1(121) "Unlawful Harassment" are deleted as these terms are already defined in rule within their relevant context.
State statutory or constitutional authorization for this rule:
Anticipated cost or savings to:
the state budget:
These definitions do not by themselves impose any action or commitment of resources by agencies. They merely support policy in the larger body of DHRM rules. There is therefore no anticipated fiscal impact to agencies with these changes.
This rule only affects the executive branch of state government and will have no impact on local governments.
small businesses and persons other than businesses:
This rule only affects the executive branch of state government and will have no impact on other persons.
Compliance costs for affected persons:
This rule only affects agencies of the executive branch of state government.
Comments by the department head on the fiscal impact the rule may have on businesses:
Rules published by DHRM have no direct effect on businesses or any entity outside state government. DHRM has authority to write rules only to the extent allowed by the Utah Personnel Management Act, Title 67, Chapter 19. This act limits the provisions of career service and these rules to employees of the executive branch of state government. The only possible impact may be a very slight, indirect effect if an agency passes costs or savings on to business through fees. However, it is anticipated that the minimal costs associated with these changes will be absorbed by agency budgets and will have no effect on business. Jeff Herring, Executive Director
The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:Human Resource Management
Room 2120 STATE OFFICE BLDG
450 N MAIN ST
SALT LAKE CITY UT 84114-1201
Direct questions regarding this rule to:
J.J. Acker or Tina Sweet at the above address, by phone at 801-537-9096 or 801-538-3761, by FAX at 801-538-3081 or 801-538-3081, or by Internet E-mail at firstname.lastname@example.org or email@example.com
Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:
This rule may become effective on:
Jeff Herring, Executive Director
R477. Human Resource Management, Administration.
The following definitions apply throughout these rules unless otherwise indicated within the text of each rule.
(1) Abandonment of Position: An act of resignation resulting when an employee is absent from work for three consecutive working days without approval.
(2) Actual FTE: The total number of full time equivalents based on actual hours paid in the state payroll system.
(3) Actual Hours Worked: Time spent performing duties and responsibilities associated with the employee's job assignments.
(4) Actual Wage: The employee's assigned salary rate in the central personnel record maintained by the Department of Human Resource Management.
(5) Administrative Leave: Leave with pay granted to an employee at management discretion that is not charged against the employee's leave accounts.
(6) Administrative Adjustment: A DHRM approved change of a position from one job to another job or salary range change for administrative purposes that is not based on a change of duties and responsibilities.
(7) Administrative Salary Decrease: A decrease in the current actual wage of one or more salary steps based on non-disciplinary administrative reasons determined by an agency head or commissioner.
(8) Administrative Salary Increase: An increase in the current actual wage of one or more salary steps based on special circumstances determined by an agency head or commissioner.
(9) Agency: An entity of state government that is:
(a) directed by an executive director, elected official or commissioner defined in Title 67, Chapter 22 or in other sections of the code;
(b) authorized to employ personnel; and
(c) subject to DHRM rules.
(10) Agency Head: The executive director or commissioner of each agency or [
Agency Management: The agency head and all other officers or employees who have responsibility and authority to establish, implement, and manage agency policies and programs.
A formal request to a higher level [ review ]for consideration
of [ an unacceptable] grievance decision.
3]) Appointing Authority: The officer, board, commission, person or
group of persons authorized to make appointments in their agencies.
4]) Budgeted FTE: The total number of full time equivalents budgeted by the
Legislature and approved by the Governor.
A procedure that may be applied prior to a reduction in force action
(RIF). It allows employees with higher
retention points to bump other employees with lower retention points as
identified in the work force adjustment plan, as long as employees meet the
eligibility criteria outlined in interchangeability of skills.
6]) Career Mobility: A time limited assignment of an employee to a position of equal
or higher salary range for purposes of professional growth or fulfillment of
specific organizational needs.
7]) Career Service Employee: An employee who has successfully completed a
probationary period in a career service position.
8]) Career Service Exempt Employee: An employee appointed to work for an
unspecified period of time or who serves at the pleasure of the appointing
authority and may be separated from state employment at any time without just
19]) Career Service Exempt Position: A position in state service exempted by law
from provisions of competitive career service [ as prescribed in]
Section 67-19-15 and [ in Subsection ]R477-2-1[ (1)].
0]) Career Service Status: Status granted to employees who successfully
complete a probationary period for competitive career service positions.
1]) Category of Work: A job series within an agency that is designated by the agency
head as having positions to be eliminated agency wide through a reduction in
force. Category of work may be further reduced after review by DHRM as follows:
(a) a unit smaller than the agency upon providing justification and rationale for approval, for example:
(i) unit number;
(ii) cost centers;
(iii) geographic locations;
(iv) agency programs.
(b) positions identified by a set of essential functions, for example:
(i) position analysis data;
(iv) special qualifications;
(v) degrees that are required or directly related to the position.
The act of verifying the qualifications and availability of individuals
on the hiring list. The number of individuals certified shall be based on standards
and procedures established by the Department of Human Resource Management.
3]) Change of Workload: A change in position responsibilities and
duties or a need to eliminate or create particular positions in an agency
caused by legislative action, financial circumstances, or administrative
4]) Classification Grievance: The approved procedure by which an agency or
a career service employee may grieve a formal classification decision regarding
the classification of a position.
5]) Classified Service: Positions that are subject to the
classification and compensation provisions stipulated in Section 67-19-12.
6]) Classification Study: A Classification
review conducted by DHRM under [ the rules outlined in ]Section R477-3-4. A study may include single or multiple job
or position reviews.
7]) Compensatory Time: Time off that is provided to an employee in lieu of monetary
An individual who is contracted for service, is not supervised by a
state supervisor, but is responsible for providing a specified service for a
designated fee within a specified time.
The contractor shall be responsible for paying all taxes and FICA
payments, and [ shall] not accrue benefits.
29]) Corrective Action: A documented administrative action to address substandard
performance of an employee [ as described in] Section
0]) Critical Incident Drug or Alcohol Test: A drug or alcohol test conducted on an
employee as a result of the behavior, action, or inaction of an employee that
is of such seriousness it requires an immediate intervention on the part of
(31) Demeaning Behavior: Any behavior which lowers the status,
dignity or standing of any other individual.
The Department of Human Resource Management. (34) Derisive Behavior: Any behavior which insults, taunts, or otherwise belittles or
shows contempt for another individual. 35]) Designated Hiring Rule: A
rule promulgated by DHRM that defines which individuals on a certification are
eligible for appointment to a career service position.
The Department of Human Resource Management.
37]) DHRM Approved Recruitment and Selection
System: The state's recruitment and
selection system, which is a centralized and automated computer system
administered by the Department of Human Resource Management.
Disability shall have the same definition found in the Americans With
Disabilities Act (ADA) of 1990, 42 USC 12101 (1994); Equal Employment
Opportunity Commission regulation, 29 CFR 1630 (1993); including exclusions and
39]) Disciplinary Action: Action taken by management under [ the
rules outlined in Section] R477-11.
40]) Discrimination: Unlawful action against an employee or applicant based on race,
religion, national origin, color, sex, age, disability, protected activity
under the anti-discrimination statutes, political affiliation, military status
or affiliation, or any other [ non-merit ]factor, as [ specified]
A separation from state employment for cause.
42]) Drug-Free Workplace Act: A 1988 congressional act, 34 CFR 85 (1993),
requiring a drug-free workplace certification by state agencies that receive
federal grants or contracts.
43]) Employee Personnel Files: For purposes of
Title 67, Chapters 18 and 19, the files maintained by DHRM and agencies as
required by Section R477-2-5. This does not include employee information
maintained by supervisors.
44]) Employment Eligibility [ Certification]: A requirement of the Immigration Reform and
Control Act of 1986, 8 USC 1324 (1988) that employers verify the identity and
eligibility of individuals for employment in the United States.
45]) "Escalator" Principle: Under the Uniformed Services Employment and
Reemployment Rights Act (USERRA), returning veterans are entitled to return
back onto their seniority escalator at the point they would have occupied had
they not left state employment.
(46) Equal Employment Opportunity (EEO): Nondiscrimination in all facets of
employment by eliminating patterns and practices of illegal discrimination. 47]) Excess Hours: A category
of compensable hours separate and apart from compensatory or overtime hours
that accrue at straight time only when an employee's actual hours worked, plus
additional hours paid, exceed an employee's normal work period.
(48) Fair Employment Opportunity and
Practice: Assures fair treatment of
applicants and employees in all aspects of human resource administration
without regard to age, disability, national origin, political or religious
affiliation, race, sex, or any non-merit factor. 49]) Fitness For Duty Evaluation:
Evaluation, assessment or study by a licensed professional to determine
if an individual is able to meet the performance or conduct standards required
by the position held, or is a direct threat to the safety of self or others.
Fair Labor Standards Act. The
federal statute that governs overtime.
See 29 USC 201 (1996).
51]) FLSA Exempt: Employees who are exempt from the Fair Labor Standards Act.
52]) FLSA Nonexempt: Employees who are not exempt from the Fair Labor Standards Act.
53]) Follow Up Drug or Alcohol Test: Unannounced drug or alcohol tests conducted
for up to five years on an employee who has previously tested positive or who
has successfully completed a voluntary or required substance abuse treatment
A temporary leave of absence from duty without pay for budgetary reasons
or lack of work.
A career service employee's claim or charge of the existence of
injustice or oppression, including dismissal from employment resulting from an
act, occurrence, omission, condition, discriminatory practice or unfair
employment practice not including position classification or schedule
56]) Grievance Procedures: The statutory process of grievances and appeals
as set forth in Sections 67-19a-101 through 67-19a-408 and the rules
promulgated by the Career Service Review Board.
57]) Gross Compensation: Employee's total earnings, taxable and
nontaxable, as shown on the employee's pay[ check stub].
58]) Hiring List: A list of qualified and interested applicants who are eligible to
be considered for appointment or conditional appointment to a specific
(59) Hostile Work Environment: A work environment or work related situation
where an individual suffers physical or emotional stress due to the unwelcome
behavior of another individual which is motivated by race, religion, national
origin, color, sex, age, disability or protected activity under the
anti-discrimination statutes. 60]) HRE: Human Resource
Enterprise; the state human resource management information system.
61]) Immediate Supervisor: The employee or officer who exercises direct
authority over an employee and who appraises the employee's performance.
62]) Incompetence: Inadequacy or unsuitability in performance of assigned duties and
63]) Inefficiency: Wastefulness of government resources including time, energy,
money, or staff resources or failure to maintain the required level of
64]) Interchangeability of Skills: Employees are considered to have
interchangeable skills only for those positions they have previously held
successfully in Utah state government employment or for those positions which
they have successfully supervised and for which they satisfy job requirements.
An individual in a college degree program assigned to work in an
activity where on-the-job training is accepted.
A group of positions similar in duties performed, in degree of
supervision exercised or required, in requirements of training, experience, or
skill and other characteristics. The
same salary range and test standards are applied to each position in the group.
67]) Job Description: A document containing the duties, distinguishing characteristics,
knowledge, skills, and other requirements for a job.
68]) Job Identification Number: A unique number assigned to a job by DHRM.
69]) Job Proficiency Rating: An average of the last three annual
performance evaluation ratings used in reduction in force proceedings.
70]) Job Requirements: Skill requirements defined at the job level.
71]) Job Series:
Two or more jobs in the same functional area having the same job class
title, but distinguished and defined by increasingly difficult levels of duties
and responsibilities and requirements.
72]) Legislative Salary Adjustment: A legislatively approved salary increase for
a specific category of employees based on criteria determined by the
73]) Malfeasance: Intentional wrongdoing,
deliberate violation of law or standard, or mismanagement of responsibilities.
74]) Market Based Bonus: One time lump sum monies given to a new hire
or a current employee to encourage employment with the state.
75]) Market Comparability Adjustment: Legislatively approved change to a salary
range for a job or to an employee's actual wage based on a compensation survey
conducted by DHRM.
76]) Merit Increase: A legislatively approved and funded salary increase for employees
to recognize and reward successful performance.
77]) Misfeasance: The improper or unlawful performance of an act that is lawful or
78]) Nonfeasance: Failure to perform either an official duty or legal requirement.
79]) Performance Evaluation: A formal, periodic evaluation of an
employee's work performance.
(80) Performance Evaluation Date: The date when an employee's performance
evaluation shall be conducted. An
evaluation shall be conducted at least once during the probationary period and
no less than once annually thereafter consistent with the common review date. 81]) Performance Management:
The ongoing process of communication between the supervisor and the
employee which defines work standards and expectations, and assesses
performance leading to a formal annual performance evaluation.
82]) Performance Plan: A written summary of the standards and expectations required for
the successful performance of each job duty or task. These standards normally include completion dates and qualitative
and quantitative levels of performance expectations.
83]) Performance Standard: Specific, measurable, observable and
attainable objectives that represent the level of performance to which an
employee and supervisor are committed during an evaluation period.
84]) Personnel Adjudicatory Proceedings: The informal appeals procedure contained in
Title 63, Chapter 46b, for all human resource policies and practices not
covered by the state employees grievance procedure promulgated by the Career
Service Review Board, or the classification appeals procedure.
A unique set of duties and responsibilities identified by DHRM
authorized job and position management numbers.
86]) Position Description: A document that describes the detailed tasks
performed, as well as the knowledge, skills, abilities, and other requirements
of a specific position.
87]) Position Identification Number: A unique number assigned to a position for
88]) Position Management Report: A document that lists an agency's authorized
positions including job identification numbers, salaries, and schedules. The list includes occupied or vacant
positions and full or part-time positions.
89]) Position Sharing: A situation where two employees share the duties and
responsibilities of one full-time career service position. Leave benefits for position sharing
employees are pro-rated according to the number of hours worked. To be eligible for benefits, position
sharing employees must work at least 50% of a full-time equivalent.
90]) Post Accident Drug or Alcohol Test: A Drug or alcohol test conducted on an
employee who is involved in a vehicle accident while on duty:
(a) where a fatality occurs;
(b) where the employee receives a citation under state or local law for a moving traffic violation arising from the accident and the accident involves bodily injury to any person who, as a result of the injury, immediately receives medical treatment away from the scene of the accident;
(c) where the employee receives a citation under state or local law for a moving traffic violation arising from the accident and the accident involves one or more motor vehicles that incur disabling damage as a result of the accident that must be transported away from the scene by a tow truck or other vehicle;
(d) where there is reasonable suspicion that the employee had been driving while under the influence of a controlled substance.
91]) Preemployment Drug Test: A drug test conducted on final candidates
for a [ safety] sensitive position or on a current employee
prior to assuming [ safety] sensitive duties.
92]) Probationary Employee: An employee hired into a career service
position who has not completed the required probationary period for that
93]) Probationary Period: A period of time considered part of the
selection process, identified at the job level, the purpose of which is to
allow management to evaluate an employee's ability to perform assigned duties
and responsibilities and to determine if career service status should be
94]) Productivity Step Adjustment: A management authorized salary increase of
one to four steps. Management and
employees agree to the adjustment for employees who accept an increased
workload resulting from actual and budgeted FTE reductions.
An action moving an employee from a position in one job to a position in
another job having a higher maximum salary step.
96]) Protected Activity: Opposition to discrimination or
participation in proceedings covered by the antidiscrimination statutes or the
Utah State Grievance and Appeal Procedure.
Harassment based on protected activity can constitute unlawful
97]) Random Drug or Alcohol Test: Unannounced drug or alcohol testing of a
sample of [ safety] sensitive employees done in accordance
with federal regulations or state rules, policies, and procedures, and
conducted in a manner such that each [ safety] sensitive
employee has an equal chance of being selected for testing.
98]) Reappointment: Return to work of an individual from the reappointment register[ .] [ A]ccrued annual leave, converted sick leave,
compensatory time and excess hours in the employee's former position were
cashed out upon separation.
99]) Reappointment Register: A register of individuals who have:
(a) held career service [
and been separated in a reduction in force;
(b) held career service [
and accepted career service exempt positions without a break in service and
were not retained, unless discharged for cause;
(c) by Career Service Review Board decision been placed on the reappointment register.
100]) Reasonable Suspicion Drug or Alcohol Test: A
drug or alcohol test conducted on an employee based on specific,
contemporaneous, articulate observations concerning the appearance,
behavior, speech or body odors of the employee.
101]) Reassignment: A management initiated action moving an employee from his current
job or position to a different job or position for administrative reasons not
included in the definition of promotion or demotion.
102]) Reclassification: A DHRM reallocation of a single position or multiple positions
from one job to another job to reflect management initiated changes in duties
103]) Reduction in Force: (RIF)
Abolishment of positions resulting in the termination of career service
staff. RIFs can occur due to inadequate
funds, a change of workload, or a lack of work.
104]) Reemployment: Return to work of an employee who resigned or took military leave
of absence from state employment to serve in the uniformed services covered
under USERRA. Accrued annual leave, converted
sick leave, compensatory time and excess hours may have been cashed out at
Return to work of a former career service employee who resigned from
state employment. Accrued annual leave,
converted sick leave, compensatory time and excess hours in their former
position were cashed out at separation.
106]) Requisition: An electronic document used for Utah Job Match recruitment,
selection and tracking purposes that includes specific information for a
particular position, job seekers' applications, and a hiring list.
(107) Retaliation: An adverse employment action taken against an employee who has
engaged in a protected activity. The
adverse action must have a causal link. (108) Return from LWOP: A return to work from any leave without pay status. Accrued annual leave, converted sick leave,
compensatory time and excess hours may have been cashed out before the leave
without pay period began. (109) Return to Duty Drug or Alcohol Test: A drug or alcohol test conducted on an
employee prior to allowing the employee to return to duty after successfully
completing a drug or alcohol treatment program. (110) Ridiculing Behavior: Any behavior specifically performed to cause
humiliation or to mock, taunt or tease another individual. (111) RIF'd Individual: A former employee whose employment is terminated as a result of a
reduction in force. (112) Safety Sensitive Position: A position approved by DHRM that includes
the performance of functions: (a) directly related to law enforcement; or (b) involving direct access or having control
over direct access to controlled substance; or (c) directly impacting the safety or welfare of
the general public;or (d)
which require an employee to carry or have access to firearms. 113]) Salary Range: The segment of an approved pay plan assigned to a job.
The determination of whether a position meets criteria stipulated in the
Utah Code Annotated to be career service ([ S]chedule B) or
career service exempt ([ S]chedule A).
115]) Serious Health Condition: An illness, injury, impairment, physical or
mental condition that involves:
(a) inpatient care in a hospital, hospice, or residential medical care facility; or
(b) outpatient care with continuing treatment by a health care provider.
116]) Tangible Employment Action: Any significant change in employment status
e.g. hiring, firing, promotion, failure to promote, demotion, undesirable
assignment, a decision causing a significant change in benefits, compensation
decisions, and work assignment.
Tangible employment action does not include insignificant changes in
employment status such as a change in job title without a change in salary,
benefits or duties.
117]) Temporary employee: A career service exempt employee on schedule
AI, AJ, or AL.
(118) Temporary Transitional Assignment: An assignment on a temporary basis to a
position or duties of lesser responsibility and salary range to accommodate an
injury or illness or to provide a temporary reasonable accommodation. 119]) Transfer:
An employee initiated movement from one job or position to another job
or position for which the employee qualifies for reasons not included in the
definition of promotion.
120]) Uniformed Services: The United States Army, Navy, Marine Corps,
Air Force, Coast Guard; Reserve units of the Army, Navy, Marine Corps, Air
Force, or Coast Guard; Army National Guard or Air National Guard; Commissioned
Corps of Public Health Service, National Oceanic and Atmospheric Administration
(NOAA), National Disaster Medical Systems (NDMS)[ , or] any
other category of persons designated by the President in time of war or
emergency. Service in Uniformed
Services includes: voluntary or involuntary duty, including active duty; active
duty for training; initial active duty for training; inactive duty training;
full-time National Guard duty;
absence from work for an examination to determine fitness for any of the above types of duty.
(121) Unlawful Harassment: Any behavior or conduct of an unlawful
nature based on race, religion, national origin, color, sex, age, disability or
protected activity under the anti-discrimination statutes that is unwelcome,
pervasive, demeaning, derisive or coercive and results in a hostile, abusive or
intimidating work environment or tangible employment action. 122]) USERRA:
Uniformed Services Employment and Reemployment Rights Act of 1994 (P.L.
103-353), requires state governments to re-employ eligible veterans who
resigned or took a military leave of absence from state employment to serve in
the uniformed services and who return to work within a specified time period
after military discharge. Employees
covered under USERRA are in a leave without pay status from their state
An individual who has served on active duty in the armed forces for more
than 180 consecutive days, or was a member of a reserve component who served in
a campaign or expedition for which a campaign medal has been authorized. Individuals must have been separated or
retired under honorable conditions.
Any person who donates services to the state or its subdivisions without
pay or other compensation except actual and reasonable expenses incurred, as
approved by the supervising agency.
125]) Volunteer Experience Credit: Credit given in meeting job requirements to
participants who gain experience through unpaid or uncompensated volunteer work
with the state, its subdivisions or other public and private organizations.
KEY: personnel management, rules and procedures, definitions
Date of Enactment or Last Substantive
July 1, 2007]
Notice of Continuation: June 9, 2007
Authorizing, and Implemented or Interpreted Law: 67-19-6
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For questions regarding the content or application of this rule, please contact J.J. Acker or Tina Sweet at the above address, by phone at 801-537-9096 or 801-538-3761, by FAX at 801-538-3081 or 801-538-3081, or by Internet E-mail at firstname.lastname@example.org or email@example.com
For questions about the rulemaking process, please contact the Division of Administrative Rules (801-538-3764). Please Note: The Division of Administrative Rules is NOT able to answer questions about the content or application of these administrative rules.
Last modified: 05/14/2008 3:03 PM